Dean Mesquite, financial advisor Santa Fe NM
73 score

Dean Mesquite

CRD Number: 3127020
Current Firm: Thornburg Investment Management Inc.

Dean Mesquite (CRD# 3127020) is an Investment Advisor Representative working at Thornburg Investment Management Inc. in Santa Fe, NM and has over 17 years of experience in the finance industry.

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Company Name Location Dates Years
Thornburg Securities Corporation Santa Fe, NM Sep 1998 - Current 18
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Mar 1999
S65 NASAA Investment Advisors Law Examination Mar 2007
Disclosure Information

Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.

Reported Disclosure Event:
  • Criminal Record
Get Details on the FINRA Advisor Check site
Contact Info for Dean J. Mesquite
Phone Number: 505-467-7200
Registered State(s):
  • AK
  • ID
  • NV
  • OR
  • WA
  • NM
  • CA
By the Numbers
  • Total Assets Under Management
    54,858
    MILLIONS
  • Total Number of Accounts
    5,091
    ACCOUNTS
  • Average Account Value
    $10,775,486
Compensation Options
  • A percentage of assets under your management
  • Performance-based fees
Advisory Services Offered
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for investment companies (as well as "business development companies")
  • Portfolio management for pooled investment vehicles (other than investment companies)
  • Portfolio management for businesses (other than small businesses) or institutional clients
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV

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BADGES
73

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